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Benjamin Charles Sauer

Rbc Capital Markets, LLC

Parker, CO

Greenwood Village, CO

Beverly Hills, CA

CRD 5416195

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-30
TX RA APPROVED 2025-05-30
  • CA RA
    APPROVED
    Since 2025-05-30
  • TX RA
    APPROVED
    Since 2025-05-30

Branch Locations

Parker, CO • United States

5251 Dtc Parkway Suite 1200, Greenwood Village, CO 80111-2737 • United States

9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Beverly Hills CA 02/2014 05/2025
Rbc Capital Markets, Llc Beverly Hills CA 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-17
  • S66 Uniform Combined State Law Examination
    2008-04-17

View on SEC IAPD

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